PCI-DSS-DOC-02-1 Operating Procedure

Operating Procedure

PCI DSS Toolkit: Version 6 ©CertiKit

Operating Procedure [Insert classification]

Implementation guidance The header page and this section, up to and including Disclaimer, must be removed from the final version of the document.

Purpose of this document This document is a template for an operating procedure.

Areas of the standard addressed Throughout the PCI DSS standard it is stated that documented procedures are required to be in place to ensure all components within the Cardholder Data Environment (CDE) are considered.

•

Requirement 2: Do not use vendor-supplied defaults for system passwords and other security parameters o 2.2 Develop configurations standards for all system components

General guidance Use this document as a template for the format of operating procedures in a variety of different areas. Obviously not every procedure is the same so you may need to add or remove some headings from the template as appropriate.

Once you have identified a need for a documented procedure in a particular area you must ensure that all employees and other interested parties are fully trained in that procedure. The fact that they have been trained should be added to your training records.

Review frequency We would recommend that this document is reviewed annually.

Version 1

Page 2 of 11

[Insert date]

Operating Procedure [Insert classification]

Document fields This document may contain fields which need to be updated with your own information, including a field for Organization Name that is linked to the custom document property “Organization Name”.

To update this field (and any others that may exist in this document): 1. Update the custom document property “Organization Name” by clicking File > Info > Properties > Advanced Properties > Custom > Organization Name.

2. Press Ctrl A on the keyboard to select all text in the document (or use Select, Select All via the Editing header on the Home tab).

3. Press F9 on the keyboard to update all fields.

4. When prompted, choose the option to just update TOC page numbers.

If you wish to permanently convert the fields in this document to text, for instance, so that they are no longer updateable, you will need to click into each occurrence of the field and press Ctrl Shift F9.

If you would like to make all fields in the document visible, go to File > Options > Advanced > Show document content > Field shading and set this to “Always”. This can be useful to check you have updated all fields correctly.

Further detail on the above procedure can be found in the Toolkit Completion Instructions. This document also contains guidance on working with the toolkit documents with an Apple Mac, and in Google Docs/Sheets.

Copyright notice Except for any specifically identified third-party works included, this document has been authored by CertiKit, and is ©CertiKit except as stated below. CertiKit is a company registered in England and Wales with company number 6432088.

Licence terms This document is licensed on and subject to the standard licence terms of CertiKit, available on request, or by download from our website. All other rights are reserved. Unless you have purchased this product you only have an evaluation licence.

If this product was purchased, a full licence is granted to the person identified as the licensee in the relevant purchase order. The standard licence terms include special terms relating to any third-party copyright included in this document.

Version 1

Page 3 of 11

[Insert date]

Operating Procedure [Insert classification]

Disclaimer Please Note: Your use of and reliance on this document template is at your sole risk. Document templates are intended to be used as a starting point only from which you will create your own document and to which you will apply all reasonable quality checks before use.

Therefore, please note that it is your responsibility to ensure that the content of any document you create that is based on our templates is correct and appropriate for your needs and complies with relevant laws in your country.

You should take all reasonable and proper legal and other professional advice before using this document.

CertiKit makes no claims, promises, or guarantees about the accuracy, completeness or adequacy of our document templates; assumes no duty of care to any person with respect its document templates or their contents; and expressly excludes and disclaims liability for any cost, expense, loss or damage suffered or incurred in reliance on our document templates, or in expectation of our document templates meeting your needs, including (without limitation) as a result of misstatements, errors and omissions in their contents.

Version 1

Page 4 of 11

[Insert date]

Operating Procedure [Insert classification]

Operating Procedure (State the subject of the procedure here)

Version 1

DOCUMENT CLASSIFICATION

[Insert classification]

DOCUMENT REF

PCI-DSS-DOC-02-1

VERSION

1

DATED

[Insert date]

DOCUMENT AUTHOR

[Insert name]

DOCUMENT OWNER

[Insert name/role]

Page 5 of 11

[Insert date]

Operating Procedure [Insert classification]

Revision history VERSION

DATE

REVISION AUTHOR

SUMMARY OF CHANGES

Distribution NAME

TITLE

Approval NAME

Version 1

POSITION

SIGNATURE

Page 6 of 11

DATE

[Insert date]

Operating Procedure [Insert classification]

Contents 1

Operating procedure ............................................................................................................ 8 1.1

Scope of procedure ...................................................................................................... 8

1.2

Prerequisites................................................................................................................ 8

1.2.1 1.2.2 1.2.3 1.2.4 1.2.5

Knowledge .................................................................................................................................. 8 Access ......................................................................................................................................... 8 Materials ..................................................................................................................................... 8 Security ....................................................................................................................................... 8 Other ........................................................................................................................................... 9

1.3

Timing and scheduling.................................................................................................. 9

1.4

Instructions ................................................................................................................. 9

1.5

Communication ........................................................................................................... 9

1.6

Output and media handling .......................................................................................... 9

1.7

Backup ........................................................................................................................ 9

1.8

Error handling .............................................................................................................. 9

1.9

Support and escalation .............................................................................................. 10

1.10

Auditing and logging .................................................................................................. 10

1.11

Monitoring ................................................................................................................ 10

1.12

Update documentation .............................................................................................. 11

Tables Table 1: Error handling ................................................................................................................. 9 Table 2: Support contacts ........................................................................................................... 10

Version 1

Page 7 of 11

[Insert date]

Operating Procedure [Insert classification]

1 Operating procedure 1.1

Scope of procedure

[Describe what the procedure covers, including: • • •

Purpose and intended outcomes Systems involved Circumstances when it is intended to be used]

1.2

Prerequisites

There are some prerequisites that need to be in place before beginning this procedure. Without them, the procedure may fail.

1.2.1

Knowledge

In order to successfully carry out the procedure you should have the following level of knowledge and/or experience: • • •

Know how to log on to the network Know how to operate the tape drive Be familiar with the tape cycle routine

1.2.2

Access

You will need the following levels of access to carry out this procedure: • •

Admin access to the domain Access to the server room on the 4th floor

1.2.3

Materials

The following materials will be needed: • • •

Six DLT backup tapes Labels Pen

1.2.4

Security

[Specify where this procedure may impact on network security. In particular, security around protecting sensitive data]

Version 1

Page 8 of 11

[Insert date]

Operating Procedure [Insert classification]

1.2.5

Other

Additional prerequisites are: •

[List additional prerequisites]

1.3

Timing and scheduling

[Specify when the procedure can be performed – are there dependencies on other activities such as batch jobs? Does it need to be run outside of business hours?]

1.4

Instructions

[Give clear instructions on how to carry out the procedure. These should be numbered and include screenshots where appropriate. For a detailed procedure this section could run to many pages]

1.5

Communication

[Provide clear instructions about how you intend to communicate this procedure out to relevant parties who may be impacted or need input into this procedure]

1.6

Output and media handling

[Describe any special considerations with handling of output such as printouts – e.g. should failed attempts at lining up on special stationery be securely disposed of?]

1.7

Backup

[Are there any special instructions for backing up data either before or after the procedure?]

1.8

Error handling

The following errors may be encountered during the procedure:

ERROR

CAUSE

CORRECTIVE ACTION

COMMENTS

Table 1: Error handling

Version 1

Page 9 of 11

[Insert date]

Operating Procedure [Insert classification]

1.9

Support and escalation

If an error occurs which cannot be corrected using this procedure, support should be contacted using the following information:

SUPPORT PERSON

ROLE

PHONE NO

HOURS OF AVAILIBILITY

Table 2: Support contacts

1.10

Auditing and logging

[Specify the auditing and logging activities that need to be carried out, if not detailed in the body of the procedure. Does a paper form need to be completed? What audit records are kept by the system?]

1.11

Monitoring

[Describe how the activity is monitored if not detailed in the body of the procedure].

Version 1

Page 10 of 11

[Insert date]

Operating Procedure [Insert classification]

1.12

Update documentation

[Describe what documentation needs to be updated or created as part of the procedure. This may include: • • • •

Policies Procedures Asset DBs Configuration Standards].

Version 1

Page 11 of 11

[Insert date]